Senior Officer, Securities Services Operations
Standard Chartered
Hanoi, Vietnam
1 ngày trước

Senior Officer, Securities Services Operations-(2000000617)

Primary Location

ASEAN & South Asia-Vietnam-Hanoi

Unposting Date

Ongoing Introduction 1 Leading the way in International Banking. We support the people and companies driving investment, trade and wealth creation across Asia, Africa and the Middle East.

And our heritage and values are expressed in our brand promise here for good. The Role Responsibilities Strategy

  • The implementation and control policies as required by the Group and Statutory bodies.
  • Good reputation of the Bank for its quality services.
  • Contribute significantly to the division’s revenue.
  • Capacity and resources management.
  • Smooth & efficient operations of Securities Services.
  • Good relationship with internal and external stakeholders.
  • Business

  • To direct and control the day to day CA team through timely and accurate completion / delivery of services / products, ensuring clients’ interest are fully protected and delivering value added services to clients in accordance to established procedures, regulations and laws and Group business need.
  • Maintain a positive working relationship with the local stakeholder (e.g. regulators / VSD / BIDV) and other division within the Bank.
  • Take active participation in business growth opportunities and be subject-matter-expert in relation to developing and execution of securities products.
  • Be cost effective; optimise utilisation of resources.
  • Ensure timely response to queries; provide quality services to clients.
  • Keep update with changes in local regulations and market specification.
  • Be responsible for reporting.
  • Business support : Actively support the sales and services culture of the Bank.To provide positive feedback to clients on areas for improvement with the aim of strengthening client relationship.
  • Maintain good relationship with stakeholder specially VSD, SSC, HNX, HSX, BIDV, SBV, MOF, brokers and other stakeholders.


  • Direct control and process all Corporate Actions function including voluntary (right issue, proxy voting...) and mandatory (dividend, interest collection, redemption, bonus issue...)
  • Ensure operational efficiency by continuously meeting and exceeding agreed clients’ services standard such as 24 hours response time to enquiries, timely announcement of event, processing of record date / pay date and prompt reporting / reminding to client
  • Ensure that clients’ enquiries are properly followed up and promptly responded for corporate actions related enquiries and complaints
  • Ensure adherence to laid down control procedures / processes designated for corporate actions function such as to record, check and verify all shares received / delivered and payments made / received on behalf of clients are in good order and in accordance to clients' instructions (both in the system CAPE and off the system);
  • corporate actions DOI; corporate actions checklists...

  • Ensure timely confirmation / reconciliation of all events in announcement date / record date / pay date to attain highest standard of quality services and reliability
  • Liaise with both external parties (e.g. brokers, VSD, stock exchanges, clearing and counter-party banks, issuers...) and internal parties (e.
  • g. CMO, FMO, GM, TB, TBSM...) to avoid potential losses resulting from incorrect announcement, entitlement, payment

  • Manage and avoid risks to clients, bank / group by ensuring prompt and accurate reporting to client / management, timely recertification and / or monitoring of any discrepancies including rejection
  • Conduct continuous review and initiate quality improvement project to enhance internal work procedures / processes to achieve productivity improvement and cost saving
  • Ensure timeliness, responsiveness, accuracy and pro-activeness in handling event processing and reporting
  • Ensure all documentation of Corporate Actions are properly labelled and filed in accordance with requirement on safekeeping of quality records
  • Provide relief / assistant to fellow officers in their absence according to Back-up plan
  • Perform vault count / reconciliation as required
  • Support other tasks as required by Head of SSO and as per back up plan
  • People and Talent

  • Lead through example and build the appropriate culture and values. Set appropriate tone and expectations from their team and work in collaboration with risk and control partners.
  • Ensure the provision of ongoing training and development of people, and ensure that holders of all critical functions are suitably skilled and qualified for their roles ensuring that they have effective supervision in place to mitigate any risks.
  • Employ, engage and retain high quality people, with succession planning for critical roles.
  • Responsibility to review team structure / capacity plans.
  • Set and monitor job descriptions and objectives for direct reports and provide feedback and rewards in line with their performance against those responsibilities and objectives.
  • Risk Management

  • Fully understand and comply with Group Securities Services policies and local regulatory requirements and embed it in BAU and appropriately discharge duties as per Group Policies and Local regulations.
  • Ensure compliance to all established procedures, regulations and Group Securities Services policy guide.
  • Able to recognise implication of changes of regulations or market practices and take appropriate measures to keep the bank and clients informed and to protect their interest.
  • Keep Head, Securities Services Operations and Head, WB Operations / CIO advised of financial and any extraordinary developments.
  • Ensure accurate and timely submission of management and local regulatory returns.

  • Manage and direct Operational Risk Management and Control for Securities Services to achieve at least an audit rating of Accepted .
  • Assist Head, Securities Services Operations to monitor and manage operational risks including system and channel risks of the products and highlight any potential and actual breakdown of controls to Head of WBO, Group function and CORG via Risk trackers; KPIs and Phoenix.
  • Ensure approved generic Product Programs and their corresponding Country Addendums are in place before any product is accepted for implementation.
  • Refer any instances of noncompliance to higher level for follow up and also highlight such instances to via KPIs and monthly operational risk reporting.

  • Money laundering prevention : Fully understand and comply with money laundering prevention requirements.Undertake training on MLP at least once every 24 months.
  • Ensure money laundering prevention reporting procedures is followed.Report to business MLPO (CR) should there be any money laundering related issues.

    Regulatory & Business Conduct

  • Display exemplary conduct and live by the Group’s Values and Code of Conduct.
  • Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank.
  • This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.

  • Lead the Securities Services team to achieve the outcomes set out in the Bank’s Conduct Principles : Fair Outcomes for Clients;
  • Effective Financial Markets; Financial Crime Compliance; The Right Environment.

  • Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
  • Local regulators : Vietnam Securities Depository; State Securities Commission, State Bank of Vietnam, Ministry of Finance;
  • Stock Exchanges : HOSE , HNX.

  • Exercise authorities delegated by the Board of Directors and act in accordance with Articles of Association (or equivalent).
  • Key Stakeholders Internal

  • Managers / Officers Securities Services Operations.
  • Managers / Officers of CSCU / CMO / FMO / Compliance and other departments.
  • IT manager / Officers.
  • CSG / TBSM / TB sales.
  • Network services in GSSC, Chennai / KL.
  • External

  • The Bank’s clients.
  • Local regulators : Vietnam Securities Depository; State Securities Commission, State Bank of Vietnam, Ministry of Finance;
  • Stock Exchanges : HOSE, HNX.

  • Overseas agents / Counterparts.
  • Other Responsibilities

  • BCP : Take part in departmental BCP / DRP testing whenever required. Assist the Business Continuity Manager (BCM) to develop, maintain and test BC Plans for the business function.
  • Raise awareness of BC Planning issues within the unit / department.

  • Human resources : Complete e-learnings and mandatory training as assigned by Group / HSSOSelf-motivate, train and develop to achieve high quality service to clients and avoid errors.
  • Our Ideal Candidate

  • University degree with 2 years of operational experience in Custody services.
  • Well verse in banking operations and practices.
  • Good communication and interpersonal skills
  • Customer oriented.
  • Ability to work independently and in team.
  • Ability to work under pressure
  • Helpful and willing to go extra miles
  • Nộp đơn
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